FAQs on E-Filing the Statement of Investment Policies and Procedures (SIPP) and SIPP Information Summary (Form 14)

Q1.  What are the filing methods available for the Statement of Investment Policies and Procedures (SIPP) and Form 14 on the PSP? 
A1.  The SIPP and Form 14 must be filed electronically through the Pension Services Portal, in accordance with Superintendent's Rule # 2 – Mandatory Electronic Filings .  The SIPP must be submitted in PDF format and the Form 14 must be submitted using the Superintendent approved on-line form.  Do not mail a paper copy of a filing to FSCO. -04/2016



Q2.  Can any individual e-file a SIPP and Form 14?
A2.  Yes.  Any individual with a valid PSP account* may complete and submit the SIPP and Form 14 through the PSP. 


* Individuals with a valid PSP account include the Pension Plan Administrator and any individual to whom the Pension Plan Administrator has delegated plan access through the PSP. -12/2015



Q3.  Where can I find step-by-step instructions for e-filing the SIPP and Form 14?
A3.  For step-by-step instructions on completing, reviewing and printing the SIPP and Form 14, refer to FSCO's Instructions for e-filing the SIPP and Form 14.  For additional assistance, refer to the User Guide: Form 14 - Statement of Investment Policies and Procedures (SIPP) Information Summary.


To file electronically, you must first activate your PSP account. -12/2015  



Q4.  How can I check the status of my plan's SIPP filings on the PSP?
A4.  After logging into your PSP account, you can check the status of the SIPP filings by following these steps:


  1. On the top navigation bar, select 'e-filing'.
  2. On the 'Filing Record' page, enter the plan registration number.
  3. Select 'SIPP' from the 'Filing Type' drop down menu. You should now see the SIPP filing history.

The status of the SIPP filings will be shown in the 'status' column. -12/2015



Q5.  How can I add asset class types that are not listed on the Form 14?
A5.  Choose ‘Other Asset Class’ from the drop down on the Form 14 menu and enter the asset class name in the 'Description' field.  -04/2016
Q6.  Form 14 accommodates a maximum of 15 asset classes.  We have more than 15 asset classes.  How do I add more asset classes on the Form 14?

A6.  The first 15 asset classes must be entered into the table on Form 14.  The additional asset classes must be listed in a separate document, and attached as follows:


  1. After entering the first 15 asset classes on the online Form 14, click on the ‘Save and Close’ button.  You will be presented with the ‘Filing Workspace’ page.
  2. Scroll down to the ‘Attachments’ box and click on ‘Attach Document’.  You will be presented with the ‘Attach Document’ page.
  3. Click on the ‘Browse’ button from the ‘File name to upload’ field and then chose the PDF file that lists the additional asset classes you wish to submit.  Click on the ‘Save and Close’ button to complete the upload process.  -04/2016

Q7.  Why are some fields 'greyed-out' or locked on Form 14?


A7.  The data you enter on Form 14 determines what fields you need to fill out and which ones you don't. Form 14 will automatically 'grey-out' fields you do not need to enter. For assistance, refer to the User Guide: Form 14 – Statement of Investment Policies and Procedures (SIPP) Information Summary.  -04/2016



Q8.  I filed a SIPP and Form 14 through the PSP.  How can I make corrections to them (e.g. if I made an error on the form, left out information or attached the wrong file)?
A8.  You must make a re-filing request through the PSP.  For step-by-step instructions, refer to Instructions for Making Re-filing requests through the Pension Services Portal  -04/2016



Q9.  If I amend my SIPP, how do I file it?

A9.  Amendment(s) to a SIPP must be E-Filed through the PSP within 60 days of the amendment.  Refer to the Instructions for making a request to E-file SIPP amendment(s) or restated SIPP through the PSP.  -04/2016



Q10.  I made an application to E-File SIPP amendment(s)/restated SIPP, in error.  The application was approved.  The PSP now indicates that there is an outstanding SIPP for my pension plan.  How can I delete the SIPP?


A10.  You must send FSCO an email, stating in the subject line: 'Request to delete an outstanding SIPP record on the PSP'.  You will have to provide a reason for the deletion, your name, the name of your organization, your telephone number and the registration number of the pension plan.


FSCO will review your request and notify you when the outstanding SIPP is deleted on the PSP. -04/2016



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